Best Execution and Regulatory Reporting Manager

Toss Securities US LLC (TSUS), a U.S. broker-dealer affiliate of Toss Securities, recognized as one of the fastest growing brokerages in Korea and a leading firm in overseas stock commission revenue, has recently opened its New York office as part of Toss’s global expansion. Toss is widely regarded as one of Korea’s most innovative fintech brands and TSUS is actively building its U.S. trading operations under FINRA regulation.

We are seeking experienced Best Execution Manager and Regulatory Reporting Manager to join our growing team. This role offers an exciting opportunity to contribute to the expansion of a dynamic brokerage firm while advancing your career in the U.S. financial markets.

Key Responsibilities

• Best Execution Program Leadership and Oversight including and not limited to: Monthly Committee Meetings and Decks/ Data Analysis/ Monthly Venue and/or Clearing Firm meetings to drive quality/ Venue review and selection process/ Smart Order Routing analysis/inputs/decisions/ Daily Best Execution review/ Regulatory Reporting
• Foster a collaborative and performance-driven culture through clear communication and shared goals
• Execution of Written Supervisory Procedures to comply with all relevant SEC and FINRA Rules.
• Stay informed of applicable laws, regulatory changes, and best practices.
• Monitor industry trends, competitor activities, and market developments to provide actionable insights.
• Advocate for and implement innovative technology solutions to streamline operations, enhance efficiencies and create effective outcomes, and optimize data analysis incorporating AI where possible. (i.e. SOR, daily exception work, etc.)
• Collaborate with cross-functional teams including but not limited to Trading, Compliance, Legal, Regulatory Reporting, and Client support.
• Utilize S3 and internal data analytic tools.

Qualifications

• 5-10 years of experience in brokerage, best execution, trading, and compliance
• Expert level knowledge relating to Rule 5310.
• Proficiency in routing methodologies.
• Bachelor’s degree in a related field, or equivalent experience and training
• FINRA Series 7 & Series 24 licenses required. Series 57 and 4 are a plus.

Equal Opportunity Employer

Toss Securities US is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, or veteran status.